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New Rules, Proposed Rules and Guidance

  • SEC Reopens Comment Period on Proposed Target Date Retirement Fund Marketing Rules
  • Division of Investment Management Issues Guidance Regarding Fund Deregistrations
  • Division of Investment Management Issues Guidance Regarding the Testimonial Rule and Social Media

Other News

  • CFTC Staff Announces Expedited No-Action Relief for CPO Delegation
  • OCIE Issues Cybersecurity Risk Alert
  • SEC Staff Member Discusses Planned Sweep Examination of Alternative Funds

Litigation and Enforcement Actions

  • SEC Charges Investment Advisory Firm and its President for Fraudulently Hiding Account Shortfall
  • SEC Charges Investment Adviser for Undisclosed Revenue Sharing Agreements
  • SEC Settles Charges Against Investment Adviser for Improperly Calculating Advisory Fees and Overcharging Clients
  • U.S. Supreme Court Extends Sarbanes-Oxley Whistleblower Protection

To read the Regulatory Update, click the link below.